Skip to the content

Citywire

New Model Adviser® Edition:

 Change edition   |   Sign in or Register

News, ratings, events and ideas for professional financial planners

  • Home
  • News
  • Features
  • The Blog
  • Videos
  • Retirement Planning
  • Performance: Funds, Shares & Fund Managers
  • Magazines
  • Portfolio
  • My Citywire
  • You are here:
  • Home
  • >
  • News
  • >
  • Regulation, Training and Competence

RSS Feed Regulation, Training and Competence

Sants: TCF has failed to deliver 'on-the-ground' benefits to consumers

17:47 | 12 Mar 2010 | By Michelle McGagh

Hector Sants said the regulator's treating customers fairly initiative relied on an 'old-style supervisory approach' as he outlined the regaulator's new 'proactive' approach to regulation.

We messed up on mis-selling but we're clamping down now, says regulator

14:04 | 12 Mar 2010 | By Victoria Bischoff

The Financial Services Authority vows to be more proactive, do more to protect the consumer and toughen up on the mis-selling of financial products.

Guernsey regulator tells savers: onus is on you to check stability of banks

08:00 | 12 Mar 2010 | By Iain Martin

The Guernsey financial regulator says it is up to consumers to read banks financial accounts to check if it is safe to deposit savings.

FSA to link with ombudsman and OFT to form consumer committee

13:36 | 11 Mar 2010 | By Michelle McGagh

The Financial Services Authority has teamed up with the Office of Fair Trading and the Financial Ombudsman Service (FOS) to create a new consumer protection committee.

Bootle: greater shareholder governance is more effective than regulation

08:20 | 11 Mar 2010 | By Gill Wadsworth

Institutional investors must exercise their power responsibly if the UK is to avoid another financial crisis, economist Roger Bootle told the National Association of Pension Funds conference.

FSA: four risks for advisers in run-up to RDR

15:40 | 10 Mar 2010 | By Gavin Lumsden

The Financial Services Authority has highlighted four areas, including quality of advice and governance, it says advisers should focus on during the upheaval of the next two years.

Financial Ltd should have seen fine coming

08:00 | 10 Mar 2010 | By Michelle McGagh

A video on pension switching from IFAtv, the marketing arm of network Financial Ltd, that was posted on YouTube a year ago has only notched up 251 views - maybe Financial Ltd's advisers should have tuned in. 

The Citywire Debate: should we blame fund managers for the financial crisis?

15:18 | 09 Mar 2010 | By Charlie Parker, Tony Bonsignore

City minister and former Gartmore chairman Lord Myners thinks we should. Charlie Parker says no, Tony Bonsignore says yes.

Seven charged over alleged £66 million boiler room scam

15:49 | 05 Mar 2010 | By Iain Martin

City of London Police has charged seven people with conspiracy to defraud over an alleged £66 million boiler room scheme.

CII may not have enough examiners to help advisers hit 2012 target

16:48 | 04 Mar 2010 | By Michelle McGagh

Chartered Insurance Institute director Peter Williams has warned the CII may not have enough examiners to cope with the volume of advisers trying to get to level four diploma level by 2012.

Fined network boss advised other IFAs on compliance

13:05 | 03 Mar 2010 | By Iain Martin

(Updated) The FSA has fined Charles Palmer, the high-profile director of IFA network, Financial Ltd £49,000 over pension switching failings.

Rights issue fears weigh down Prudential

11:57 | 02 Mar 2010 | By Nicholas Paler

Shares in Prudential continued to fall today, after it announced yesterday a $20 billion (£13.2 billion) rights issue to finance the takeover of AIG's Asian insurance business AIA.

MetLife launches pension training scheme for advisers

09:52 | 02 Mar 2010 | By Nicholas Paler

MetLife teams up with IFA training group Patterson Sales Training to aid advisers preparing for JO5 exams.

FSA fines could treble under new policy

12:05 | 01 Mar 2010 | By William Robins

(Update, adds AIFA reaction) The level of fines levied by the Financial Services Authority could treble under its new penalties policy.

Mortgage fraud increases as housing market recovers

11:16 | 01 Mar 2010 | By William Robins

A recovery in the housing market and possible help from ‘corrupt solicitors’ has driven the first yearly increase in mortgage fraud since 2006, according to a report by the Credit Industry Fraud Prevention Service (Cifas).

RSM Tenon fined £700k over structured product sales 'flaws'

10:44 | 25 Feb 2010 | By Iain Martin

The Financial Services Authority has fined RSM Tenon Financial Services £700,000 for flaws with its advice on Lehman-backed structured products.

Lloyds Banking Group receives nearly 20,000 complaints in six months

08:59 | 25 Feb 2010 | By Michelle McGagh

Lloyds group remains top of the Financial Ombudsman Service's list of worst complaints offenders.

Investors warned of 'dramatic rise' in share scams

14:10 | 24 Feb 2010 | By Tony Bonsignore

City regulator warns of a dramatic increase in the number of share scams aimed at UK investors.

FSA slams life settlement market for 'major flaws'

13:08 | 24 Feb 2010 | By Michelle McGagh

Peter Smith, head of investment policy at the Financial Services Authority, has told providers the regulator would be 'very concerned' to see the traded life policy market growing rapidly.

FSA signals headcount tariff on fees may stay

07:00 | 24 Feb 2010 | By Maryrose Fison

The tone of the FSA's consultation paper on regulatory fees shows it has listened to critics of its proposal to switch the tariff from a headcount to an income basis

1 | 2 | next page Total pages: 2

  more articles

© Citywire Financial Publishers Ltd 2010.
The material on the site is the copyright material of Citywire Financial Publishers Ltd. You may not copy, reproduce, republish, disassemble, decompile, reverse engineer, download, post, broadcast, transmit, make available to the public, or otherwise use citywire.co.uk content in any way except for your own personal, non-commercial use. This includes but is not limited to all individual fund manager data such as rankings of fund managers and ratings of fund managers. Citywire does not accept any liability for your reliance upon, or any errors or omissions in, the Citywire ratings or rankings. Any other use of citywire.co.uk content requires the prior written permission of Citywire Financial Publishers Ltd.

© 2010 Citywire.co.uk. All Rights Reserved.
Citywire Financial Publishers Ltd. is authorised and regulated by the Financial Services Authority no: 222178 to provide investment advice and is bound by its rules.

  • Disclosure, authorised and regulated by the Financial Services Authority
  • Quote data: Interactive Data
  • Privacy Policy
  • Terms & Conditions
  • Your Information & How We Use It
  • Fund performance statistics: Lipper Limited Copyright
    View limitations & usage restriction
  • Citywire Financial Publishers Ltd.
    Registered Office: 1st Floor, 87 Vauxhall Walk, London SE11 5HJ.
    Registered in England no: 3828440.